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Ethical Issues In Financial Services

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What are two conflicts of interest faced by an Investment Advisor who is employed by a commercial bank or an investment bank? Given his fiduciary responsibility to his clients, how can these conflicts be avoided or resolved?

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Solution Summary

This is a comprehensive (with references!) look at the conflicts of interest faced by an investment advisor.

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Conflicts of interest

The conflicts that could come are many:

- The investment advisor could hide the bank's interest in a certain investment (i.e. whether the bank stands to gain from additional investment or the bank is already servicing the investment as a client). This fits along the lines of having to service two clients at ...

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